Job Overview

Head of Compliance, Broker Dealer

Location: Hong Kong Salary: $200,000
Type: Permanent Contact: Jeremy Lam
Posted: 27 days ago

Our client is headquartered in London and has offices in 30 cities in 15 countries. As one of the world's leading full service research and institutional trading broker dealer, they produce most of its revenue from cash equities and options. They are currently recruiting for Head of Compliance to manage their HK and Greater China region.

This position will provide regulatory compliance advisory, development and surveillance of firm's regulatory and compliance program.

Main Responsibilities:
  • Conducting regulatory and surveillance processes for cash equities trading and algorithmic trading. 
  • Partnering with other regional and global compliance groups to provide regulatory advisory services.
  • Acting as an advisor for senior management on all compliance matters and establishing a good compliance culture.
  • Ensuring that policies, controls and procedures are in placed.
  • Developing a compliance monitoring program to ensure issues are appropriately addressed and resolved.
  • Participation in projects and compliance training activities.


  • A minimum of twelve years of compliance experience in the financial industry, specifically in equities compliance or broker dealer environment.
  • Sound knowledge of financial services rules and regulations i.e. SFC.
  • Excellent oral and written communication skills.
  • Ability to develope a understanding of trading rules and regulations and, at the same time, a sophisticated grasp of trading technology systems and platforms.
  • Fluency in Mandarin/Cantonese a plus.
If you are interested in this role, please apply below or contact me for more information.